“A factual finding by the ALJ is not binding if it was reached by means of an improper standard or misapplication of the law.”
How later courts described this case
- “A factual finding by the ALJ is not binding if it was reached by means of an improper standard or misapplication of the law.”
- “[s]ubstantial evidence has been defined innumerable times as more than a scintilla, but less than a preponderance”
- holding that a court “cannot determine if findings are supported by substantial evidence unless the Secretary 11 explicitly indicates the weight given to all the relevant evidence.”
- “Where conflicting evidence allows reasonable minds to differ as to whether a claimant is disabled, the responsibility for that decision falls on the ALJ.”
Written by the judges who cited it.
The opinion
IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF WEST VIRGINIA
CLARKSBURG
MARCO RAFIEL THOMASELLI,
Plaintiff,
v. Civil Action No.: 1:18-cv-105
(Kleeh)
NANCY A. BERRYHILL, Acting
Commissioner of Social Security,
Defendant.
MEMORANDUM OPINION AND ORDER
AFFIRMING AND ADOPTING THE REPORT AND
RECOMMENDATION OF THE MAGISTRATE JUDGE
I. INTRODUCTION AND BACKGROUND
The Plaintiff, by counsel, seeks judicial review of the
Defendant’s decision to deny his claims for disability insurance
benefits (“DIB”) under Title II of the Social Security Act and
supplemental security income (“SSI”) under Title XVI of the Social
Security AcT [Dkt. No 1]. Plaintiff applied for DIB and SSI on July
24, 2012, with a date of last insured (“DLI”) of March 31, 2012 [Dkt.
No. 13-2 at 13]. His application was denied on October 19, 2012,
without subsequent appeal [Id.]. On July 11, 2014, Plaintiff made
protective reapplication for benefits, and alleged ongoing
disability since December 1, 2009, due to Crohn’s disease, asthma,
high blood pressure, chronic obstructive pulmonary disease (“COPD”),
and “mental health” [Id.]. His reapplication for DIB was denied on
res judicata grounds, and his remaining reapplication for SSI was
denied initially and again upon reconsideration [Id.].
The Plaintiff requested and the ALJ, Brian Crockett, held a
hearing on March 7, 2017 [Dkt. No. 13-2 at 13]. At the hearing,
Plaintiff moved to amend his date of disability onset from December
1, 2009, to January 1, 2013 [Id.]. However, because Plaintiff could
not receive SSI until August 2014 (the month following the month
during which the relevant underlying application was filed),
Plaintiff’s disability status was only determined after the July 11,
2014, protective filing date of his most recent application for
benefits [Id. at 13-14]. The ALJ determined, and Plaintiff concedes
in his brief, that the relevant period on his SSI claim is August 1,
2014, through May 3, 2017 [Id.; Dkt. No. 18 at 4; Dkt. No. 16-1 at
2]. On May 3, 2017, the ALJ issued an unfavorable decision to the
Plaintiff, and the Plaintiff appealed [Id.]. The Appeals Council
denied the Plaintiff’s request for review on March 20, 2018 [Dkt.
No. 13-2 at 2], and the Plaintiff timely brought his claim before
this Court on May 2, 2018 [Dkt. No. 1].
In issuing his decision, the ALJ used a five-step evaluation
process pursuant to 20 C.F.R. §§ 404.1420 and 416.920. Using that
process, the ALJ made the following findings: (1) the Plaintiff has
not engaged in “substantial gainful activity” since July 11, 2014,
the protective filing date of his most recent application for SSI;
2
(2) the Plaintiff had the following severe impairments: asthma/COPD
and Crohn’s disease; (3) none of the Plaintiff’s impairments met or
medically equaled the severity of any impairment listed in Appendix
1, Subpart P, Regulation No. 4 (20 C.F.R. §§ 416.920(d), 416.925 and
416.926); (4) the Plaintiff is capable of performing work activity
that requires no more than a “medium” level of physical exertion,
and involves no concentrated exposure to temperature extremes,
vibration, pulmonary irritants or hazards; and (5) “[c]onsidering
the claimant’s age, level of education, work experience and
prescribed residual functional capacity, he has remained capable
throughout the period at issue of performing jobs that exist in
significant numbers within the national economy” [Dkt. No. 13-2 at
16-24]. Accordingly, the ALJ found that Plaintiff did not have a
disability as defined under the Social Security Act (“SSA”).
By standing order of the Court, this matter was referred to
United States Magistrate Judge Robert W. Trumble for proposed
findings of fact and a recommended disposition. Thereafter,
Plaintiff and Defendant both filed motions for summary judgment [Dkt.
Nos. 16, 17] and supporting memoranda. The Plaintiff’s motion for
summary judgment argues that the ALJ’s decision is not supported by
substantial evidence.1 Plaintiff contends that the ALJ (1) failed
1 In the Stipulation of Facts that Plaintiff included in his brief, Plaintiff
references evidence that was not presented to or considered by the ALJ [Dkt. No.
16-1 at 5-6]. The Commissioner argues that the Court cannot consider this evidence
3
to properly follow the treating physician rule when he assigned
little weight to the opinion of his treating gastroenterologist, and
(2) failed to properly consider Plaintiff’s description of his
symptoms which prevent him from being able to attend a job on a
regular basis or stay on task while on the job [Dkt. No. 16-1]. The
Plaintiff requests that the Court reverse the ALJ’s decision and
direct the SSA to make a finding of disabled as of the date of August
1, 2014 [Id. at 13-14]. In the alternative, the Plaintiff requests
that the Court reverse the ALJ’s decision and remand the case for
further administrative proceedings [Id.].
The Defendant’s motion for summary judgment argues that the ALJ
applied the correct legal standard and the decision is supported by
substantial evidence. Specifically, the Defendant argues that (1)
the ALJ provided well-supported reasons for the weight he accorded
the opinions of Amandeep Purewal, M.D., Plaintiff’s treating
gastroenterologist, and (2) the ALJ sufficiently articulated the
reasons for his determination that Plaintiff was not entirely
because it was not before the ALJ [Dkt. No. 18 at 3, n.1]. The same evidence was
presented by Plaintiff to the Appeals Council, which determined that it did not
show a reasonable probability that it would change the outcome of the decision
[Dkt. No. 13-2 at 2](stating that “[y]ou submitted medical records from Weirton
Medical Center and Amandeep Purewal, M.D., dated April 1, 2016 to January 18, 2017
(21 pages) and Weirton Medical Center, dated December 21, 2016 to April 17, 2017
(75 pages). We find this evidence does not show a reasonable probability that it
would change the outcome of the decision. We did not consider and exhibit this
evidence.”). Plaintiff did not argue that this finding was in error, nor has
Plaintiff argued that this Court should consider evidence not presented to the
ALJ. Accordingly, this evidence will not be considered [Dkt. No. 20 at 13,n.2;
Dkt. No. 13-3 at 30-103; Dkt. No. 13-3 at 133-53].
4
persuasive concerning the limiting effects of Crohn’s disease
symptoms [Dkt. No. 18]. Defendant requests that the Court affirm
the ALJ’s decision [Id.].
The magistrate judge filed his Report and Recommendation (R&R)
on January 24, 2019, concluding that the ALJ made no legal errors
and that substantial evidence supported the ALJ’s decision [Dkt. No.
20]. The R&R recommends that Plaintiff’s Motion for Summary Judgment
[Dkt. No. 16] be denied, Defendant’s Motion for Summary Judgment
[Dkt. No. 17] be granted, and that this matter [Dkt. No. 1] be
dismissed with prejudice. Plaintiff timely filed objections2 to the
R&R on February 7, 2019 [Dkt. No. 21]. Defendant filed her response
to those objections on February 19, 2019 [Dkt. No. 22].
II. APPLICABLE LAW
A. Standard of Review
The Court is not required to review, under a de novo or any
other standard, the factual or legal conclusions of the magistrate
judge as to those portions of the findings or recommendations to
which no objections are addressed. Thomas v. Arn, 474 U.S. 140, 150
(1985). In addition, this Court need not conduct a de novo review
when a party “makes general and conclusory objections that do not
2 Plaintiff’s objections [Dkt. No. 21] are nearly identical to Plaintiff’s
arguments in the Memorandum in Support of Motion for Summary Judgment [Dkt. No.
16-1].
5
direct the Court to a specific error” in the magistrate judge’s
recommendation. Orpiano v. Johnson, 687 F.2d 44, 47 (4th Cir. 1982).
Pursuant to 28 U.S.C. § 636(b)(1)(C), this Court must conduct
a de novo review of any portion of the magistrate judge’s
recommendation to which objection is timely made. As to those
portions of a recommendation to which no objection is made, a
magistrate judge’s findings and recommendation will be upheld unless
they are clearly erroneous.
B. Judicial Review of an ALJ Decision
Although the Court will review the magistrate judge’s R&R under
a de novo standard of review, this Court’s review of the underlying
ALJ’s decision is limited. See Smith v. Schweker, 795 F.2d 343, 345
(4th Cir. 1986). A “reviewing court must uphold the determination
when an ALJ has applied correct legal standards and the ALJ’s factual
findings are supported by substantial evidence.” Brown v. Comm’r
Soc. Sec. Admin., 873 F.3d 251, 267 (4th Cir. 2017)(citation and
internal quotation marks omitted). Pursuant to 42 U.S.C. § 405(g),
“[t]he findings of the Commissioner of Social Security as to any
fact, if supported by substantial evidence, shall be conclusive.”
See Coffman v. Bowen, 829 F.2d 514, 517 (4th Cir. 1987)(“A factual
finding by the ALJ is not binding if it was reached by means of an
improper standard or misapplication of the law.”). The standard for
substantial evidence is “more than a mere scintilla. It means
6
relevant evidence as a reasonable mind might accept as adequate to
support a conclusion.” Richardson v. Perales, 402 U.S. 389, 401
(1971)(citation omitted); Thomas v. Celebrezze, 331 F.2d 541, 543
(4th Cir. 1964)(“[s]ubstantial evidence has been defined innumerable
times as more than a scintilla, but less than a preponderance”).
When analyzing whether the ALJ’s decision was supported by
substantial evidence, this Court must determine whether the ALJ
“consider[ed] all relevant evidence.” Sterling Smokeless Coal Co.
v. Akers, 131 F.3d 438, 439 (4th Cir. 1997). “In reviewing for
substantial evidence, [the court should] not undertake to reweigh
conflicting evidence, make credibility determinations, or substitute
[its] judgment for that of the Secretary.” Craig v. Chater, 76 F.3d
585, 589 (4th Cir. 1996). If “conflicting evidence allows reasonable
minds to differ as to whether a claimant is disabled,” the Court
must defer to the Commissioner’s decision. Id.(citing Walker v.
Bowen, 834 F.2d 635, 640 (7th Cir. 1987)); see also Hancock v.
Astrue, 667 F.3d 470, 472 (4th Cir. 2012)(“Where conflicting evidence
allows reasonable minds to differ as to whether a claimant is
disabled, the responsibility for that decision falls on the ALJ.”).
C. Five-Step Evaluation Process
The Plaintiff bears the burden of proving to the Commissioner
that she is disabled within the meaning of the SSA. 42 U.S.C. §
423(d)(5); English v. Shalala, 10 F.3d 1080, 1082 (4th Cir. 1993).
7
When determining whether an individual is disabled, the ALJ is
directed to use the following five-step sequential process:
i) At the first step, we consider your work activity, if
any. If you are doing substantial gainful activity,
we will find that you are not disabled. (See
paragraph (b) of this section.)
ii) At the second step, we consider the medical severity
of our impairment(s). If you do not have a severe
medically determinable physical or mental impairment
that meets the duration requirement in § 404.1509, or
a combination of impairments that is severe and meets
the duration requirement, we will find that you are
not disabled. (See paragraph (c) of this section.)
iii) At the third step, we also consider the medical
severity of your impairment(s). If you have an
impairment(s) that meets or equals one of our
listings in appendix 1 of this subpart and meets the
duration requirement, we will find that you are
disabled. (See paragraph (d) of this section.)
iv) At the fourth step, we consider our assessment of
your residual functional capacity and your past
relevant work. If you can still do your past relevant
work, we will find that you are not disabled. (See
paragraphs (f) and (h) of this section and §
404,1560(b)).
v) At the fifth and last step, we consider our assessment
of your residual functional capacity and your age,
education, and work experience to see if you can make
an adjustment to other work. If you can make an
adjustment to other work, we will find that you are
not disabled. If you cannot make an adjustment to
other work, we will find that you are disabled. (See
paragraphs (g) and (h) of this section and §
404.1560(c)).
See 20 C.F.R. § 404.1520.
8
D. Assessment of Medical Opinions
The ALJ is directed to use all relevant medical and other
evidence when assessing an individual’s RFC. See 20 C.F.R. §
404.1545. This includes evidence from medical examinations,
opinions from medical sources, and descriptions and statements from
the applicant regarding the applicant’s abilities. Id. The SSA
directs the ALJ to consider all medical opinions in its RFC
determination. Id. Under 20 C.F.R. § 404.1527, the ALJ is directed
to assess opinions as follows:
How we consider medical opinions. In determining whether
you are disabled, we will always consider the medical
opinions in your case record together with the rest of the
relevant evidence we receive.
How we weigh medical opinions. Regardless of its source,
we will evaluate every medical opinion we receive. Unless
we give a treating source’s opinion controlling weight
under paragraph (c)(2) of this section, we consider all of
the following factors in deciding the weight we give to
any medical opinion.
(1) Examining relationship. Generally, we give more
weight to the opinion of a source who has
examined you than to the opinion of a source who
has not examined you.
(2) Treatment relationship. Generally, we give more
weight to opinions from your treating sources,
since these sources are likely to be the medical
professionals most able to provide a detailed,
longitudinal picture of your picture of your
medical impairment(s) and may bring a unique
perspective to the medical evidence that cannot
be obtained from the objective medical findings
alone or from reports of individual
examinations, such as consultive examinations or
9
brief hospitalizations. If we find that a
treating source’s opinion on the issue(s) of the
nature and severity of your impairment(s) is
well-supported by medically acceptable clinical
and laboratory diagnostic techniques and is not
inconsistent with the other substantial evidence
in your case record, we will give it controlling
weight. When we do not give the treating
source’s opinion controlling weight, we apply
the factors listed in paragraphs (c)(2)(i) and
(c)(2)(ii) of this section, as well as the
factors in paragraphs (c)(3) through (c)(6) of
this section in determining the weight to give
the opinion. We will always give good reasons
in our notice of determination or decision for
the weight we give your treating source’s
opinion.
(i) Length of the treatment relationship and
the frequency of examination. Generally,
the longer a treating source has treated
you and the more times you have been seen
by a treating source, the more weight we
will give to the source’s medical opinion.
When the treating source has seen you a
number of times and long enough to have
obtained a logintudinal picture of your
impairment, we will give the source’s
opinion more weight than we would give it
if it were from a nontreating source.
(ii) Nature and extent of the treatment
relationship. Generally, the more
knowledge a treating source has about your
impairment(s) the more weight we will give
to the source’s medical opinion. We will
look at the treatment the source has
provided and at the kinds and extent of the
examinations and testing the source has
performed or ordered from specialists and
independent laboratories…. When the
treating source has reasonable knowledge of
your impairment(s), we will give the
source’s opinion more weight than we would
10
give it if it were from a nontreating
source.
(3) Supportability. The more a medical source
presents relevant evidence to support an
opinion, particularly medical signs and
laboratory findings, the more weight we will
give that opinion. The better an explanation a
source provides for an opinion, the more weight
we will give that opinion. Furthermore, because
nonexamining sources have no examining or
treating relationship with you, the weight we
will give their opinions will depend on the
degree to which they provide supporting
explanations for their opinions. We will
evaluate the degree to which these opinions
consider all of the pertinent evidence in your
claim, including opinions of treating and other
examining sources.
(4) Consistency. Generally, the more consistent an
opinion is with the record as a whole, the more
weight we will give to that opinion.
(5) Specialization. We generally give more weight
to the opinion of a specialist about medical
issues related to his or her area of specialty
than to the opinion of a source who is not a
specialist.
(6) Other factors. When we consider how much weight
to give to a medical opinion, we will also
consider any factors you or others bring to our
attention, or of which we are aware, which tend
to support or contradict the opinion….
20 C.F.R. § 1527.
The ALJ must provide reasoning for the weight he assigned to
“all relevant evidence.” See Gordon v. Schweiker, 725 F.2d 231, 235
(4th Cir. 1984)(holding that a court “cannot determine if findings
are supported by substantial evidence unless the Secretary
11
explicitly indicates the weight given to all the relevant
evidence.”); See 20 C.F.R. § 404.1520.
E. Assessment of Claimant’s Credibility
The Commissioner has recognized that there are potentially
disabling conditions, such as chronic pain, in which there may be
little objective medical evidence to support the claimant’s
assertion of disability. “[A]n ALJ follows a two-step analysis when
considering a claimant’s subjective statements about impairments and
symptoms.” Lewis v. Berryhill, 858 F.3d 858, 870 (4th Cir. 2017);
see 20 C.F.R. §§ 404.1529(b)-(c), 416.929(b)-(c)(2019). The ALJ
first “looks for objective medical evidence showing a condition that
could reasonably produce the alleged symptoms” and then “evaluate[s]
the intensity, persistence, and limiting effects of the claimant’s
symptoms to determine the extent to which they limit the claimant’s
ability to perform basic work activities.” Lewis, 858 F.3d at 866.
The second step “requires the ALJ to assess the credibility of the
claimant’s statements about symptoms and their functional effects.”
Id.
When examining the credibility of an individual’s statements,
the ALJ “must consider the entire case record, including the
objective medical evidence, the individual’s own statements about
symptoms, statements and other information provided by treating or
examining physicians … about the symptoms and how they affect the
12
individual, and any other relevant evidence.” See Soc. Sec. Ruling
(“SSR”) 96-7p, 1996 WL 374186, at *1 (July 2, 1996).3 An ALJ’s
assessment of a claimant’s credibility regarding the intensity and
persistence of her symptoms is entitled to great weight when it is
supported by the record. See Hancock, 667 F.3d at 472.
III. DISCUSSION
Plaintiff filed two objections to the R&R: (1) the magistrate
judge wrongly concluded that the ALJ’s assignment of little weight
to Dr. Purewal’s opinion was supported by substantial evidence and
was determined in conformity with the law; and (2) the magistrate
judge wrongly concluded that the ALJ’s credibility assessment of
Plaintiff was supported by substantial evidence [Dkt. No. 21 at 2,
7]. Plaintiff’s objections largely restate the same arguments
presented in his Memorandum in Support of Motion for Summary Judgment
[Dkt. No. 16-1].
A. Plaintiff’s Objection Regarding the Weight Given to Dr.
Purewal’s Opinion Under the Treating Physician Rule
Plaintiff contends that the magistrate judge erred in finding
that substantial evidence supported the little weight accorded the
opinion of Dr. Amandeep Purewal, Plaintiff’s gastroenterologist, and
3 In March 2016, the Commissioner revised SSR 96-7p by eliminating the term
“credibility” from the agency’s policy and by clarifying that “subjective symptom
evaluation is not an examination of an individual’s character.” The agency
continues to evaluate a disability claimant’s symptoms using the two-step process
outlined in the regulations. See SSR 16-3p, 2016 WL 1119029, at *1 (Mar. 16,
2016).
13
that the ALJ’s decision was made in conformity with the law [Dkt.
No. 21 at 2]. As explained in the R&R, if a treating source’s
medical opinion on the nature and severity of a Plaintiff’s
impairments is “(1) well-supported by medically acceptable clinical
and laboratory diagnostic techniques and (2) not inconsistent with
the other substantial evidence in the case record, it is given
controlling weight” [Dkt. No. 20 at 9]. While “the testimony of a
treating physician is often accorded greater weight, this ‘treating
physician rule … does not require that the [treating physician’s]
testimony be given controlling weight.’” Criss v. Comm’r of Soc.
Sec., No. 5:16cv86, 2017 WL 2730647, at *3 (N.D. W.Va. June 26,
2017)(emphasis supplied)(quoting Anderson v. Comm’r of Soc. Sec.,
127 F. App’x 96, 97 (4th Cir. 2005)). Where the opinion is not
supported by clinical evidence or if it is inconsistent with other
substantial evidence, “then it should be accorded significantly less
weight.” Thompson v. Astrue, 442 F. App’x 804, 808 (4th Cir.
2011)(quoting Craig v. CHater, 76 F.3d 585, 590 (4th Cir. 1996)).
When a treating source opinion is not given controlling weight,
the ALJ is to apply the six regulatory factors in deciding the weight
to give the medical opinion. 20 C.F.R. § 416.92(c)(2). The factors
include: (1) the examining relationship; (2) the treatment
relationship; (3) supportability; (4) consistency; (5)
specialization; and (6) any other factors that tend to support or
14
contradict the opinion. 20 C.F.R. § 416.927(c). The ALJ need not
specifically list and address each factor in his decision, so long
as sufficient reasons are given for the weight assigned to the
medical opinion. See Pinson v. McMahon, NO. 3:07-1056-PMD-JRM, 2009
WL 763553, at *10 (D.S.C. Mar. 19, 2009)(holding that the ALJ
properly analyzed a treating physician’s medical opinion even though
he did not list the five factors and specifically address each one).
In this matter, as detailed by the magistrate judge, the ALJ
assigned “little weight” to Dr. Purewal’s opinion for several reasons
identified in the decision [Dkt. No. 20 at 11; Dkt. No. 13-2 at 21].
Based on all the reasons identified, the ALJ determined that “[t]he
limitations [Dr. Purewal] ascribed appear based upon [an] incomplete
understanding, and [without an] awareness of all the evidence that
is available to the Administrative Law Judge. Therefore, Dr.
Purewal’s opinion is accorded little weight” [Dkt. No. 13-2 at 22].
The magistrate judge noted the ALJ’s finding that there is little to
no compelling evidence that Plaintiff’s Crohn’s disease worsened
since his first applications were denied in October 2012 [Dkt. No.
20 at 13]. Prior to Plaintiff’s 2016 surgery, Plaintiff’s Crohn’s
disease was relatively stable with medication, with some occasional
flare-ups which is supported by Plaintiff’s proposed Stipulation of
Facts [Id.; Dkt. No. 16-1 at 2-7]. Moreover, while Plaintiff had
several emergency room visits for abdominal pain/Crohn’s flare-ups
15
during the first half of 2014, between August 3, 2014, and October
1, 2016, the record before the ALJ shows that Plaintiff had only one
emergency room visit for abdominal pain4 [Dkt. No. 20 at 13; Dkt.
No. 16-1 at 3-4]. The ALJ provided well-supported reasons for the
weight accorded to the opinion of Dr. Amandeep Purewal, and
ultimately determined that they were not supported by the weight of
the evidence [Dkt. No. 13-2 at 20-21].
Plaintiff also argued that the ALJ erred in assigning little
weight to Dr. Purewal’s opinion because the ALJ improperly assigned
great weight to the opinions of state agency consultants, and those
agency consultants did not have all of Plaintiff’s medical evidence
available for review [Dkt. No. 16-1 at 10-11]. Plaintiff’s argument
on this point is without merit. The regulations require the ALJ to
consider the findings of state agency physicians because they are
“highly qualified physicians, psychologists, and other medical
specialists who are also experts in Social Security disability
evaluation.” 20 C.F.R. § 404.1527(e)(2)(i). The ALJ is permitted
to weigh those opinions as she sees fit, so long as an explanation
is provided. 20 C.F.R. § 404.1527(e)(2)(ii). In his memorandum and
objections [Dkt. No. 16-1 at 11; Dkt. No. 21 at 6], Plaintiff
4 As stated, the Court has not considered evidence submitted by Plaintiff as
additional evidence to the Appeals Council that was not presented to and considered
by the ALJ. The Appeals Council determined that it did not show a reasonable
probability that it would change the outcome of the decision [Dkt. No. 13-2 at
2].
16
contends that because agency physicians “at most did a record review
of limited medical records and never examined the Plaintiff,” the
ALJ was wrong in giving their opinions great weight.5 The regulations
establish that this argument is fundamentally misplaced because the
ALJ must consider the opinions of state agency doctors. Moreover,
“[a]n ALJ’s determination as to the weight to be assigned to a
medical opinion generally will not be disturbed absent some
indication that the ALJ has dredged up ‘specious inconsistencies’ or
has failed to give a sufficient reason for the weight afforded a
particular opinion.” See Dunn v. Colvin, 607 F. App’x 264, 267 (4th
Cir. 2015)(citations omitted)(quoting Scivally v. Sullivan, 966 F.2d
1070, 1077 (7th Cir. 1992)). Plaintiff offers no such indication.
A treating physician’s opinion is given “controlling weight”
only when that opinion is both “well-supported” by medically
acceptable clinical and laboratory techniques, and “not
inconsistent” with other substantial evidence in the record. 20
5 As the Commissioner correctly observes in her Brief in Support of Her Motion for
Summary Judgment, while a consultative examiner performs an examination of the
claimant, 20 C.F.R. § 416.917, a state agency consultant does not, and instead
reviews the medical records in a claimant’s case record. See 20 C.F.R. §
416.913a(b); [Dkt. No. 18 at 10-11]. Also, the mere passage of time between the
date of a state agency consultant’s opinion and the date of the ALJ’s decision
does not, in and of itself, undermine, or render “stale” the state agency
consultant’s opinion [Dkt. No. 18 at 11]. See Stricker v. Colvin, No. 2:15-15,
2016 WL 543216, at *3 (N.D. W.Va. Feb. 10, 2016); see also Chandler v. Comm’r of
Soc. Sec., 667 F.3d 356, 361 (3d Cir. 2012)(“[B]ecause state agency review precedes
ALJ review, there is always some time lapse between the consultant’s report and
the ALJ hearing and decision. The Social Security regulations impose no limit on
how much time may pass between a report and the ALJ’s decision in reliance on
it.”).
17
C.F.R. § 416.927(c)(2); see Dunn, 607 F. App’x at 267. The ALJ’s
assignment of weight to Dr. Purewal’s opinion was thoughtful and
based on a balance of the evidence. The ALJ also explained his
rationale for assigning little weight to Dr. Purewal’s opinion. See
Smith, 395 F.Supp.2d at 307. As it is not the reviewing court’s
role to reweigh the evidence considered by the ALJ, Johnson, 434
F.3d at 653, the Court finds that the ALJ’s decision concerning the
treating physician rule was in conformity with the law and supported
by substantial evidence in the record. Plaintiff’s objection on
this ground is overruled.
B. Plaintiff’s Objection Regarding the Consideration Given to
Plaintiff’s Description of his Symptoms
Plaintiff argues that the magistrate judge wrongly concluded
that the ALJ’s credibility assessment of Plaintiff was supported by
substantial evidence [Dkt. No. 21 at 7]. Plaintiff contends that,
while the ALJ decision stated that Plaintiff’s testimony concerning
the intensity, duration, and limiting effect of his symptoms was not
fully persuasive, the decision failed to explain how Plaintiff’s
reported symptoms are inconsistent with the evidence [Id.].
Plaintiff argues that his records show that he had to go to the
emergency room on ten occasions and was hospitalized for twenty-nine
days “between the beginning of 2014 and the end of 2016,” and that
this “does not include days the Plaintiff would have missed work
18
because he was too symptomatic to leave his home or even his
bathroom” [Id. at 8]. Plaintiff’s argument is not persuasive.
First, Plaintiff concedes that “the ALJ correctly noted that
claimant had no potential eligibility to received [sic] SSI benefits
until August 2014, the month following the month he re-applied for
benefits” [Dkt. No. 16-1 at 2]. Thus, the relevant period at issue
for Plaintiff’s SSI claim is August 1, 2014, through May 3, 2017,
and not the beginning of 2014 or before. Secondly, as the
Commissioner notes in her Brief in Support of Her Motion for Summary
Judgment [Dkt. No. 18 at 4], the record before the ALJ shows that
Plaintiff regularly advised his health care providers that he was
engaging in work activities, often specifically noting that he was
working as an HVAC technician6 [Dkt. No. 18 at 4-5; Dkt. No. 13-2 at
15, 18-21]. Additionally, the medical records relied on by the ALJ
support the conclusion that Plaintiff’s condition and functionality
remained relatively stable with medication prior to his 2016 surgery,
and that many of Plaintiff’s Crohn’s symptoms resolved after that
surgery [Dkt. No. 20 at 13; Dkt. No. 16-1 at 3-4]. Considering the
6 The ALJ determined that that Plaintiff had not definitively engaged in
“substantial gainful activity,” at any time during the relevant period, or since
the July 11, 2014, protective filing date [Dkt. No. 13-2 at 15]. However, the
ALJ concluded that the evidence suggests that Plaintiff worked in the past and
during the period at issue on an unofficial basis (i.e., “off the books” or “under
the table”) [Id.], because he reported work activity to physicians but his reported
earnings were remarkably limited for 2008 ($1,540.00) and 2011 ($72.25) with no
reported earnings in 2009, 2010, 2012, 2013, 2014, 2015 or 2016 [Dkt No. 13-2 at
15, 18-21].
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record as a whole, including Plaintiff’s testimony at hearing, the
ALJ determined that “[t]he evidence indicates that the claimant has
experienced problems related to Crohn’s disease during the period at
issue, but not of any persistent, permanent and totally disabling
severity” [Dkt. No. 13-2 at 20]. He further concluded that “[t]here
is no compelling evidence of any intractable, persistent and totally
disabling constellation of symptoms” and that Plaintiff’s
“reliability as an informant is somewhat suspect” [Id.].
The ALJ’s observations concerning the Plaintiff’s credibility
are given great weight because the ALJ has had the opportunity to
observe the demeanor of the Plaintiff. See Shively, 739 F.2d at
989-90. Additionally, the ALJ assessed Plaintiff’s credibility “in
view of the objective medical and other longitudinal evidence of
record” [Dkt. No. 13-2 at 20]. This Court has held that “[a]n ALJ’s
credibility determinations are ‘virtually unreviewable’…. Ryan v.
Astrue, No. 5:09cv55, 2011 WL 541125, at *3 (N.D. W.Va. Feb. 8,
2011). If the ALJ meets … her basic duty of explanation, then ‘an
ALJ’s credibility determination [will be reversed] only if the
claimant can show [that] it was ‘patently wrong.’” Criss, 2017 WL
2730647, at *3(alteration in original)(citations omitted)(quoting
Sencindiver v. Astrue, No. 3:08-cv-178, 2010 WL 446174, at *33 (N.D.
W.Va. Feb. 3, 2010)).
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While Plaintiff’s argument and objection ignores the evidence
of work performed by him and his own statements regarding the same,
the regulations are clear that evidence of work performed by a
claimant may be used in assessing the claimant’s credibility. 20
C.F.R. § 416.971 (“The work, without regard to legality, that you
have done during any period in which you believe you are disabled
may show that you are able to work at the substantial gainful
activity level.”); see also Sue E. v. Berryhill, No. 6:17-cv-46,
2018 WL 434835, at *4 (W.D. Va. Aug. 15, 2018)(“Evidence of work
during the relevant period is a legitimate factor the ALJ may
consider when determining the consistency of a claimant’s subjective
claims of disability.”); Lafferty v. Colvin, NO. 4:13-cv-49, 2015 WL
156772, at *17 (W.D. Va. Jan. 13, 2015)(“The ALJ may consider the
applicant’s recent work as he would any other evidence that is
relevant to her credibility.”). “[I]t is the ALJ’s duty, not this
Court’s, to determine the facts and resolve inconsistencies between
a claimant’s alleged impairments and his ability to work.” Redditt
v. Colvin, No. 7:13-cv-391, 2014 Wl 2800820, at *6 (W.D. Va. June
18, 2014).
The record in this matter reflects that that ALJ appropriately
weighed, considered and explained the inconsistencies in Plaintiff’s
work history [Dkt. No. 13-2 at 18-21], and the basis for his
conclusion that Plaintiff was not a consistent or reliable informant
21
with regard to detailing the actual extent of his historical or
ongoing work activity [Id. at 19-20]. The records support the
finding that Plaintiff’s condition and functionality remained
relatively stable with medication prior to his surgery in October
2016, and that his symptoms resolved after surgery [Id. at 18-19].
As noted by the ALJ, the records show that after surgery, Plaintiff
had actually returned to work, had been carrying on normal
activities, and even “reported significant improvement in his
symptoms to Dr. Lheureau as of December 1, 2016” [Id. at 19-20].
The magistrate judge correctly observed that Plaintiff does not point
to “any objective evidence in the record that supports his subjective
complaints that (1) his pain is so severe he cannot do anything
around the house seven to ten days per month and (2) he needs to use
the bathroom ten to fifteen times per day for ten for [sic] thirty
minutes each time” [Dkt. No. 20; Dkt. No. 16-1, at 6, 12-13]. While
the decision does not specifically address Plaintiff’s subjective
complaints presented at hearing [Dkt. No. 13-4 at 120, 124-25], the
ALJ considered the entire record and provided substantial evidence
to support his determination of Plaintiff’s credibility [Dkt. No.
13-2 at 18-21].
The Plaintiff takes issue with the ALJ’s ultimate conclusion
that his subjective complaints of symptoms were inconsistent with
the evidence of record [Dkt. No. 21 at 7]. However, the magistrate
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judge concluded that the ALJ properly considered all of the evidence
of record when he concluded that Plaintiff’s assertions concerning
the intensity, duration, and limiting effects of his symptoms were
not fully persuasive [Dkt. No. 20 at 19]. This Court finds no error
in the above determination of the magistrate judge, and upholds his
recommendation. Plaintiff’s objection in this regard is overruled.
IV. CONCLUSION
Upon careful review of the Report and Recommendation [Dkt. No.
20], and for the reasons stated, the Court ORDERS:
(1) That the Report and Recommendation [Dkt. No. 20] be AFFIRMED
and ADOPTED for the reasons more fully set forth therein;
(2) That Plaintiff’s Objections [Dkt. No. 21] are OVERRULED;
(3) That Plaintiff’s Motion for Summary Judgment [Dkt. No. 16]
is DENIED;
(4) That Defendant’s Motion for Summary Judgment [Dkt. No. 17]
is GRANTED;
(5) That Plaintiff’s Complaint [Dkt. No. 1] be, and it hereby
is, DENIED and DISMISSED WITH PREJUDICE; and
(6) That this matter be STRICKEN from the active docket of this
Court.
The Court further DIRECTS the Clerk to enter judgment in favor
of Defendant.
It is so ORDERED.
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The Clerk is directed to transmit copies of this Order to all
counsel of record herein.
DATED: September 19, 2019
/s/ Thomas S. Kleeh________
THOMAS S. KLEEH
UNITED STATES DISTRICT JUDGE
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